The thesis explores the concept of International Arbitration, an alternative to litigation. It argues the benefits and the inherent limitations parties are likely to face while resorting to this instrument to resolve Transfer of Technology and Intellectual Property related disputes. The paper further explains how Arbitrability limitations can be taken care of in relation to transfer of technology disputes. Emphasis is placed on the institutional role of the World Intellectual Property Organization’s Arbitration and Mediation Center as an appropriate arbitration forum to deal with complex technological and Intellectual Property related disputes.

The figure of international arbitration is briefly defined as a method of conflict resolution in the international level, alternative to the Administration of Justice, emphasizing its neutrality, speed and confidentiality.This article shows the new challenges faced by arbitrators, in terms of choice, length of process and efficiency in decision making. In addition, it proposes nine solutions to improve arbitration performance and abbreviate the process of taking decisions. / La figura del arbitraje internacional, es definida brevemente como un método de resolución de conflictos en el ámbito internacional alternativo a la Administración de Justicia destacando su neutralidad, rapidez y confidencialidad.Este artículo pone de manifiesto los nuevos retos que afrontan los árbitros, en cuanto a la elección, duración del proceso y eficiencia en la toma de decisiones.Además, propone nueve soluciones para mejorar el desempeño arbitral y acortar la emisión de decisiones.

The central subject of this thesis is the power of an arbitral tribunal to order a state to refrain from pursuing criminal proceedings against a commercial enterprise if such an investigation constitutes an abuse of power or an attempt to obtain an unfair procedural advantage or harass of the investor, rather than a legitimate exercise of the state’s police power. The first chapter addresses the nature of international arbitration and how different theoretical models may help to explain the limits of the arbitrators’ adjudicative powers and the attitude of various national legal orders and domestic courts to arbitration agreements, proceedings and awards. The second chapter analyzes different approaches to investment arbitration as a form of global governance, and reviews arbitral jurisprudence on the interaction between protection of foreign investment and states’ power to conduct criminal proceedings. The third chapter focuses on jurisprudence of the International Court of Justice (ICJ) and various arbitral tribunals on provisional measures affecting the conduct of criminal proceedings. It identifies key developments and trends in the jurisprudence, especially with respect to the rights that could be protected by such measures. Finally, the fourth chapter addresses the question how to balance the states’ right (or even an obligation) to combat global corruption and crime, one the one hand, and the due process rights accorded to private entities when their commercial and investment disputes are resolved through international arbitration, on the other hand. / Graduate / 2022-03-19

En droit du commerce international, pacta sunt servanda se manifeste dans la règle de l’intangibilité du contrat. Cette dernière s’y présente de manière singulière. Sous l’influence de la Common law, la créance et les prérogatives contractuelles ne sont protégées qu’en fonction de leur utilité économique. En cas d’inexécution du contrat, la modification de ses stipulations est encouragée lorsqu’elle permet au créancier de minimiser son préjudice. En vue d’une allocation optimale des ressources économiques, le créancier doit parfois privilégier la survie du lien contractuel, à la sanction stricte de ses droits et prérogatives. La règle de l’intangibilité du contrat est ainsi concurrencée par la règle de l’effet utile du contrat. Cette dernière participe à la singularité du principe pacta sunt servanda en droit du commerce international. Le principe transnational pacta sunt servanda n’est pas qu’une représentation « systématique et synthétique » de la force obligatoire du contrat en droit du commerce international. Ce principe de droit transnational tire son autonomie vis-à-vis des droits étatiques des libertés accrues reconnues à l’arbitre international. Le principe transnational pacta sunt servanda invite à rejeter la nullité d’un contrat conforme aux besoins du commerce du international, lorsque celle-ci est commandée par des motifs étatiques particularistes. Cette protection accrue du devoir de respecter la parole donnée n’en fait toutefois pas un principe d’ordre public transnational. Pacta sunt servanda conduit plutôt vers la reconnaissance d’un principe de validité transnationale des contrats en droit du commerce international. / In International Business Law pacta sunt servanda presents itself in the rule of sanctity of contract. This one appears in a specific way. Influenced by the Common Law, contractual claims and arrangements are protected even if they have an economic usefulness. In case of a failure to perform the contract, the modification of its explicit terms is encouraged only if this allows the creditor to mitigate his damages. From this perspective, the debtor’s right to cure must be envisaged rather than breaching the contract. Sometimes, heading for the best allocation of economic resources, the creditor have to privilege the survival contractual relationship instead of its legitimate rights and “prerogatives”. This is how the practical effect of the contract competes with the sanctity of contract. The first one takes part in the peculiarities of the principle pacta sunt servanda. This transnational principle is not just a “systematic and synthetic” representation of the binding force of contracts in International Business Law. Indeed the transnational principle pacta sunt servanda gets its autonomy from freedom states law given to international arbitrator. When some nationalist motives impose to reject the nullity of a contract – although conform to international business needs - the transnational principle pacta sunt servanda invites to do it. Even if the duty to respect undertakings is firmly protected, pacta sunt servanda is not a transnational public order principle. Pacta sunt servanda leads more to a principle of transnational validity of contracts in International Business Law

The number of investor-state arbitration disputes has been on the rise since the mid 1990s. Their determinants are still not fully understood. This study empirically examines the effects of economic crises on investor-state arbitration claims, based on international investment agreements (IIAs). We use a unique dataset containing 961 investor-state arbitration claims covering 132 host (defendant) and 75 home (claimant) countries over the 1986-2017 period. We find that episodes of economic crises are positively and significantly associated with the number of investor-state arbitration cases and we uncover evidence that the type of economic crisis matters. In addition, the positive impact of economic crises on arbitration cases is inversely related to the rule of law in a host country. These results are consistent with the view that governments are prioritizing policy actions aiming at mitigating the negative impact of economic crises over compliance with their obligations in IIAs. From a policy perspective, our results suggest that besides strengthening the rule of law domestically, the IIA system should be reformed with a focus on avoiding a vicious circle, thus shortening the recovery period after economic crises. / Series: Department of Economics Working Paper Series

La thèse a pour objet de traiter la rencontre entre l’arbitrage et les procédures collectives. Elle s’ordonne autour d’un triple constat. Dans un premier temps, marquée par un fort impérialisme, des considérations d’ordre public, l’ouverture d’une procédure collective n’est pas sans incidence sur les instances arbitrales en cours et sur les instances arbitrales qui n’ont pas encore débuté. L’ordre public des procédures collectives a un impact tant sur le déroulement de l’instance arbitrale que sur l’issue de la sentence arbitrale. Ensuite, l’arbitrage marqué à l’opposé par la volonté des parties, la liberté contractuelle, survit en dépit de l’ouverture d’une procédure collective. En effet, l’ordre public des procédures ne suffit pas à exclure l’arbitrage. La compétence de l’arbitre est maintenue pour tous les litiges qui ne sont pas nés de la procédure collective et sur lesquels celle-ci n’exerce pas une influence juridique. Enfin, persiste lors de la rencontre entre l’arbitrage et les procédures collectives, un contentieux post-arbitral. / The purpose of the thesis is to deal with the meeting between arbitration and collective proceedings. It is organized around a triple statement. At first, marked by a strong imperialism, considerations of public order, the opening of a collective procedure is not without incidence on the arbitration bodies in course and on the arbitration bodies which have not yet started . The public order of collective proceedings has an impact both on the conduct of the arbitral proceedings and on the outcome of the arbitral award.Secondly, arbitration, which is marked by the will of the parties, contractual freedom, survives despite the opening of a collective proceeding. Indeed, the public order of the collective proceedings is not sufficient to exclude arbitration. The arbitrator's jurisdiction is upheld for all disputes that are not born of the collective proceeding and over which the latter has no legal influence. Lastly, persists during the meeting between arbitration and collective proceeding, a post-arbitration litigation.

This diploma thesis is about the instrument of security for costs in international arbitration and the purpose it serves, for which it aims at answering two essential questions. The first issue the thesis focuses on is determination of circumstances that may lead arbitrators to the conclusion that they have power to order a claimant to post security for costs. The second task of this thesis is to analyse under what conditions it is justified for the arbitrators to use the power and issue such an order. The thesis compares and construes arbitration laws and rules of procedure which are significant for the scrutinized issues or diversifies possible conclusions. The thesis also relies on interpretation embraced by various arbitral bodies and tribunals and is inspired by approaches adopted by the international community. Eventually, the research shows that there is an overwhelming consensus in both international arbitration practice and doctrine with regard to the powers of arbitrators to issue an order for security for costs. Generally, arbitrators are entrusted with such powers and where doubted, they may draw the powers from the applicable laws or the status of the arbitral body itself by means of interpretation. On the other hand, the analysis indicates that there is no unanimity regarding...

Admissibility of illegally obtained evidence is one of the procedural issues in the investment treaty arbitration, on which the tribunals do not have the unified approach or point of view. Although, there are already cases where the tribunal have been faced with this problem, and this gives the ground for the thoughts about the topic. Provided the growing challenge for the tribunals on whether to admit or reject such evidence, this topic remains actual in the field of the arbitration.  The aim of the thesis is to highlight the legal issues, related to the admissibility of illegally obtained evidence in investment treaty arbitration. The thesis analyses three sub-issues: is illegally obtained evidence admissible in investment treaty arbitration, if it is admissible under which conditions and which types of illegally obtained evidence exist currently.

Submitted by Filipe dos Santos (fsantos@pucsp.br) on 2018-06-14T12:37:13Z No. of bitstreams: 1 Frederico Gustavo de Souza e Straube.pdf: 1312599 bytes, checksum: 8841d4b404e321a2295e91f987c72bc6 (MD5) / Made available in DSpace on 2018-06-14T12:37:13Z (GMT). No. of bitstreams: 1 Frederico Gustavo de Souza e Straube.pdf: 1312599 bytes, checksum: 8841d4b404e321a2295e91f987c72bc6 (MD5) Previous issue date: 2018-03-14 / Corruption is a phenomenon as old as the history of mankind, common to developped countries, as well as to those in development. However, contrary to what happened in the past, it has received greater attention from international organizations and the academic world, mainly because of the collective and universal understanding of its harmful effects on society.International arbitration as a method of dissolving controversies is widely used by private individuals and also by public entities in international relations, especially in commercial trade and investments, and like any and all jurisdictional proceedings, it is not immune to the practice of corruption, whether in the relation between parties and arbitrators, or with witnesses and experts, with a view to subvert law and order in obtaining illicit advantages.Corruption, much more than a question of a cultural nature, is directly related to the efficiency and functioning of the institutions created by society. That is, the present study, without neglecting the influence of cultural factors, such as those in whose cultures are marked by strong patrimonialist bonds, aims at better understanding, describing and suggesting mechanisms of combat and prevention of corruption in order to mitigate a growing sense of mistrust and widespread insecurity in individuals and society as a whole. Thus, this work will seek, through the deductive / descriptive method, to dialogue with the theme and contribute to its problematic through the author's reflection on what he considers an "insufficiency" in the national and international literature, in order to bring some international cases and studies, as well as draw a parallel with Brazilian Law and domestic arbitration / A corrupção é um fenômeno tão antigo quanto a história da humanidade, comum aos Países desenvolvidos, bem como àqueles em desenvolvimento. Porém, contrariamente ao que ocorreu no passado, vem merecendo maior atenção por parte de organismos internacionais e do mundo acadêmico, principalmente em razão da compreensão coletiva e universal dos seus efeitos, nefastos para a sociedade. A Arbitragem Internacional em geral, método de dissolução de controvérsias bastante utilizado por particulares e também por entes públicos nas relações internacionais, sobretudo no comércio e em investimentos, como todo e qualquer procedimento jurisdicional não está imune à prática da corrupção, seja na relação entre as partes e os árbitros, seja com testemunhas e experts, com o objetivo de subverter a lei e a ordem para a obtenção de vantagens ilícitas.A corrupção, muito mais do que uma questão de natureza cultural, está diretamente relacionada à eficiência e ao funcionamento das instituições criadas pela sociedade. Ou seja, o presente estudo, sem desprezar a influência de fatores culturais, como aqueles em cujas culturas são marcadas por fortes vínculos patrimonialistas, visa melhor entender, descrever e sugerir mecanismos de combate e prevenção à corrupção para que se possa mitigar um crescente sentimento de desconfiança e insegurança generalizado nos particulares e na sociedade como um todo. Dessa forma,estetrabalho buscará por meio do método dedutivo/descritivo, dialogar com o tema e contribuir para a sua problemática por meio dareflexão do autor quanto ao que ele considera uma “insuficiência” na literatura nacional e também internacional, de maneira a trazer alguns casos e estudos internacionais, bem como traçar um paralelo com o Direito Brasileiro e a arbitragem doméstica

L'arbitrage est un mode de résolution des litiges par l'intermédiaire d'un tribunal arbitral composé d'un ou plusieurs arbitres. Il permet, comme devant les tribunaux étatiques, de régler un litige en vertu d'une sentence rendue à l'issue d'une procédure arbitrale dans laquelle chacune des parties doit prouver ce qu'elle allègue afin d'établir la conviction des arbitres. C'est par le recours aux divers modes de preuve inspirés des différents systèmes juridiques notamment du système de Common Law et du système de droit civil que les plaideurs pourront atteindre cette finalité.En revanche, parce que l'arbitrage international ne possède ni for ni législation spéciaux, l'administration des preuves dans une instance arbitrale internationale revêt un caractère sui generis de fait que l'arbitrage international a reconnu un système de preuve qui a utilisé les avantages des divers systèmes juridiques. Ainsi, on retrouve que la preuve écrite, qu'elle soit sur support papier ou sur support électronique, est administrée selon le model civiliste qui donne la primauté à une preuve préconstituée à l'avance. Mais, en ce qui concerne la preuve par témoin, l'influence des droits de Common Law paraît claire surtout que dans la plupart des cas, le pouvoir de nommer et d'interroger les témoins revient aux plaideurs qui utilisent la méthode d'Examination lors de l'interrogation des témoins. C'est aussi le cas de l'expertise qui est souvent considérée comme une preuve orale dans laquelle il revient aux parties le pouvoir de désigner les experts et de les interroger suivant l'interrogatoire direct et le contre interrogatoire tout comme des témoins. Ainsi, les preuves dans l'arbitrage international peuvent être reparties en preuves écrites et preuves orales dont les premières sont constituées de l'écrit sur support papier ou sur support électronique et les secondes sont formées par la preuve par témoin et la preuve par expertise. / The arbitration is a method of resolving disputes through an arbitration tribunal composed of one or several arbitrators. He allows resolving a dispute under a sentence delivered after an arbitration procedure in which all parties have to prove what they adduce to convince the tribunal. It is by using various modes of proof inspired specially from the system of Common Law and the system of Civil Law that parties can achieve this purpose.On the other hand, because the international arbitration has neither a territory nor legislation, it was created a system which combines between best practices of Common Law and Civil Law. So, the written evidence is produced according to the practice of Civil Law which gives primacy to a proof written in advance. But for the oral testimony, it is the common Law which dominates the administration of this proof by giving parties the right to nominate and interrogate witnesses. This is also what happens when arbitrators decide to use an expertise in which the parties have the power to nominate experts and interrogate them as witnesses. So, the evidence in international arbitration can be divided into written evidence made up by the writing on paper medium and electronic medium and oral evidence formed by proof by witness and proof by expertise.